2013 Microbusiness Innovation Science and Technology Survey

2013 Microbusiness Innovation

Science and Technology Survey

[Business name goes here]

Dear Small Business Owner, You are part of a vital but often unrecognized part of the economy – the small business community – and the National Science Foundation (NSF) wants to hear from you. NSF is an independent federal agency tasked with examining U.S. competitiveness in science, engineering, technology, and R&D. We are surveying all types of businesses in the U.S. to measure the extent of innovation and research and development (R&D) activities in our nation. This survey focuses on the smallest businesses in the U.S. Your answers will help policymakers address issues such as how small businesses are affected by the rapid changes in our economy and what the smallest businesses are doing to be competitive. Please complete the questionnaire and return it to the address below. A postage-paid envelope is provided for your convenience. National Science Foundation c/o Westat, Room TA 2133 1600 Research Blvd. Rockville, MD 20850 Your responses are confidential under law. See the statement at the bottom of this page for more details. Contact us toll-free at 888-225-0236 OR by e-mail at MISTsurvey@westat.com. Thank you for contributing to our study of our nation’s smallest businesses. This information is solicited under the authority of the National Science Foundation Act of 1950, as amended. All information you provide is protected under the NSF Act and Title 26, U.S. Code. Any information publicly released (such as statistical summaries) will be in a form that does not personally identify you or your company. Your response is voluntary and failure to provide some or all of the requested information will not in any way adversely affect you or your company. Pursuant to 5 CFR 1320.5(b), an agency may not conduct or sponsor, and a person is not required to respond to an information collection unless it displays a valid OMB control number.  The OMB control number for this collection is 3145-0174 (exp. May 31, 2013). Public reporting burden for this collection of information is estimated to average 15 minutes per response, including the time for reviewing instructions.  Send comments regarding this burden estimate and any other aspect of this collection of information, including suggestions for reducing this burden, to: Suzanne Plimpton, Reports Clearance Officer, Facilities and Operations Branch, Division of Administrative Services, National Science Foundation, Arlington, VA  22230.
A. OVERALL COMPANY INFORMATION
If you have more than one business, please answer only for the business named above. 1. Did your company have any revenues or grants in 2013?
		Yes Go to Question 2.
		No Stop here and return the survey form.
2. Did another company own more than 50 percent of your company at any time during 2013?
		Yes Stop here and return the survey form.
		No Go to Question 3.
3. How important to you are each of the following reasons for owning your company?
			Very important		Somewhat important	Not important
	Wanted to be my own boss
	Flexible hours
	Opportunity for greater income
	Best avenue for my ideas/goods/ services
	Had to start company to find work
	Please list any other important reasons for owning your own company:

4. For the pay period including March 12, 2013, how many people worked for your company, including those paid through grants? Include both full-time and part-time workers as well as yourself. Please count each person only once.
	Owners					Number of people
	Owners who received a W-2 issued by your company for salary or wages
	Other owners (paid or unpaid)
	Non-owners
	Employees who received a W-2 issued by your company for salary or wages
	Individuals who received payment in other ways (e.g., contractors/ consultants/ temporary workers who received a 1099 or payment from another company)
	Unpaid individuals who worked for your company (e.g., interns, friends, family members)
5. Not counting those listed in question 4, which of the following were key people you used as advisors for your company during the past year?
					Yes		No
	a. Scientist or technical expert
	b. Financial expert or accountant
	c. Business expert
	d. Marketing expert
	e. Individual who offered general advice
	f. Legal, regulatory, or compliance expert
	g. Other (specify):
6. Did your company hire a full-time or part-time employee within the last three years?
			Yes Go to Question 7.
			No Go to Question 8.
7. Please answer the following about your most recently hired employee.
					Yes		No
	a. He/she performs the same tasks we performed before hiring him/her.
	b. We hired him/her to get skills we otherwise would not have had.
	c. We hired him/her to take over certain tasks.

8. What year did your company start? Give the year your company first obtained an EIN (Employer Identification Number) or first filed a tax return, whichever is earlier. Please answer for the firm identified.
			Year company started
9. Please give a brief description of your company’s industry.

B. FINANCIAL INFORMATION
10. What were your company’s 2013 revenues, including income from grants? Please round to the nearest one thousand dollars. Your best estimate is fine.
	$ ,000
			2013 revenues and grants
11. Approximately what share of your company’s 2013 revenues and grants came from the following? If none, enter zero; total should equal 100%.
	Selling goods to customers, including other companies			%
	Selling services to customers, including other companies			%
	Income from grants			%
	Other (specify):
				%
	TOTAL			100%
12. Approximately what percent of your revenues for 2013 excluding grants were from customers in the United States and its territories? If none, enter zero.
	%
		Percent of revenues

13. In 2013, did your company earn any revenue from customers in the following locations?
					Yes		No
	a. Within your state
	b. Other states or U.S. territories
	c. Canada or Mexico
	d. Other countries
14. During 2013, did you use any of your personal funds (e.g., credit cards, home equity loan, personal savings) for your company?
		Yes
		No
15. During 2013, did your company try to get funding (e.g., loans, investments, or gifts) from the sources in the list below?
			Yes, got funding	Yes, tried but did not get funding		No, did not try
	a. Banks or credit unions
	b. Other companies as investors
	c. Family and friends
	d. Angel or venture capital funding (financial support in return for equity or stock in your company)
	e. Federal government’s Small Business Technology Transfer Program (STTR) or Small Business Innovation Research Program (SBIR)
	Other (specify):

C. INNOVATION
16. Did your company sell any goods or offer any services during the last three years?
		Yes Continue with Question 17 in the next column.
		No Go to Question 20.

17. During the last three years, did your company do each of the following regarding the goods or services your company offers? Do not include adaptation or customization of your company’s goods or services for a specific client’s needs.
			Yes		No		Does not apply
	a. Offered a new good or service that no company has ever offered before
	b. Offered a new good or service that your company has never offered before
	c. Improved good’s performance by making changes in materials, equipment, components, or software
	d. Developed a new use for one of your goods or services
	e. Added a new feature to one of your goods or services
	f. Made it easier for customers to use one of your goods or services (e.g., easier access, more user friendly)
18. During the last three years, did your company do each of the following regarding the goods or services your company offers?
			Yes		No		Does not apply
	Used a new way of purchasing, accounting, computing, maintenance, inventory control, or other support activities
	Reduced costs by changing the way you distribute one of your goods or services
	Upgraded techniques, equipment, or software to significantly improve the goods or services you offer
	Made significant improvements in techniques or processes by increasing automation, decreasing energy consumption, or using software
	Decreased production costs by improving the materials, components, or software
	Changed methods to deliver your company’s goods or services faster or more reliably
19. During the last three years, did your company do each of the following related to marketing or design?
				Yes		No		Does not apply
	Made significant changes to the design or packaging of a good or service other than changes that alter how it is used
	Promoted your company’s goods or services in a new way (e.g., the first time use of a new type of advertising, a new brand image, introduction of loyalty cards)
	Used new ways to sell your company’s goods or services (e.g., first time use of franchising or distribution licenses, direct selling, exclusive retailing, new concepts for presentation of your goods or services)
	Used new pricing methods (e.g., first-time use of pricing by demand, discount system)
	Created or opened up a new market for your company’s goods or services
	Told customers about a new way they can use your company’s goods or services
20. During the last three years, did your company do each of the following related to your organization?
				Yes		No		Does not apply
	a. Implemented new methods to improve internal processes or deliver goods or services (e.g., introduce supply chain management systems or business re-engineering, lean production and quality management systems )
	b. Applied new methods or processes to improve workplace organization (e.g., education and training systems to improve learning and sharing, implement changes in workplace responsibilities or authority of managers and employees)
	c. Started a new way of interacting with other firms or organizations (e.g., alliances, partnerships, outsourcing, subcontracting)
D. INTELLECTUAL PROPERTY
21. How many U.S. patent applications, if any, does your company currently have pending? If none, enter zero.
		Number of patent applications currently pending
22. How many U.S. patents does your company currently own? If none, enter zero.
		Number of patents owned
23. Please indicate whether or not your company did each of the following during the last three years.
				Yes		No		Does not apply
	a. Transferred intellectual property (IP) to others not owned by your company through participation in technical assistance or "know how" agreements
	b. Received IP from others not owned by your company through participation in technical assistance or "know how" agreements
	c. Participated in cross-licensing agreements in which two or more parties grant a license to each other for the use of the subject matter claimed in one or more of the patents owned by each party
	d. Allowed free use of patents or other IP owned by your company (e.g., allowing free use of software patents by the open source community)
	e. Made use of open source patents or other freely available IP not owned by your company

24. During the last three years, how important were the following for protecting your company’s intellectual property? Mark one for each row.
		Very important	Moderately important	A little important	Not at all important		Does not apply
	Utility patents (patents for inventions)
	Design patents (patents for appearance)
	Trademarks
	Copyrights
	Trade secrets
	Nondisclosure agreements
	Other (specify):

E. SCIENTIFIC AND ENGINEERING RESEARCH AND DEVELOPMENT (R&D)
25. During 2013, did your company do any of the following R&D activities? Include activities that: Your company performed Others paid your company to do Your company paid others to do
					Yes		No
	Conducted work that might lead to a patent
	Developed and tested prototypes that were derived from scientific research or technical findings
	Produced findings that could be published in academic journals or presented at scientific conferences
	Applied scientific or technical knowledge in a way that has never been done before
	Created new scientific or technical solutions that can be generalized to other situations
	Conducted work to discover previously unknown scientific facts, structures, or relationships
	Conducted work to extend the understanding of scientific facts, relationships or principles in ways that could be useful to others
26. Did you answer “Yes” to any activities in Question 25?
			Yes Continue with Question 27 in the next column.
			No Go to Question 33.
27. What was the total cost in thousands in 2013 for all the R&D activities you answered “Yes” to in Question 25? Your best estimate is fine. Please include all costs: Salaries, wages, fringe benefits Equipment, materials, supplies, software Rent, utilities Consultants, contractors
		$ ,000		Total cost for R&D activities reported in Question 25 for 2013
28. How much of the amount in Question 27 was for purchasing R&D services from others? Your best estimate is fine.
		$ ,000		Costs of R&D services purchased from others
29. To calculate the costs of R&D services you performed, please subtract Question 28 from Question 27 and enter the amount here.
		$ ,000		Costs of R&D services you performed
30. Of the total R&D amount you reported in Question 29, what percent was for each of the following types of costs?
		Salaries, wages, and fringe benefits for company’s employees				%
		Equipment				%
		Software purchases and licenses				%
		Other costs (e.g., consultants, contractors, travel, rent)				%
		TOTAL				100%

31. Of the total R&D amount you reported in Question 29, how much was paid for by the following sources?
	Your company	%
	Another U.S. company	%
	U.S. university or college	%
	U.S. non-profit organization	%
	U.S. Federal government (including R&D grants)	%
	U.S. state or local government (not including state universities)	%
	Other (specify):
		%
	TOTAL	100%
32. How many people worked on the R&D activities you reported in Question 25 for the pay period that included March 12, 2013?
			Number of people
	Owners
	Employees
	Other paid workers (e.g., contractors, consultants, temporary workers)
	Unpaid workers
	Total

F. YOUR COMPANY STRATEGIES
33. How important is each of the following in how your company seeks a competitive advantage?
					Very important	Moderately important	A little important	Not at all important		Does not apply
	Your low prices
	The quality of your goods/services
	Your unique goods/services
	The convenience you offer
	Your reputation
	Other (specify):
34. How important is each of the following to your company’s strategy?
					Very important	Moderately important	A little important	Not at all important		Does not apply
	a. Updating or improving an existing good or service
	b. Developing a good or service that will save customers’ money
	c. Developing a good or service that will improve current customers’ experience
	d. Having a formal business strategic plan in writing
	e. Partnerships with other businesses
	f. Partnerships with one or more universities
	g. Providing individualized goods or services
35. During 2013, how important was each of the following in moving your company forward?
					Very important	Moderately important	A little important	Not at all important		Does not apply
	a. Cutting costs enough to make a profit
	b. Keeping up with demands for your goods or services
	c. Finding new customers
	d. Keeping current customers
	e. Finding people with the right job skills
	f. Getting access to funds
	g. Getting access to facilities and equipment
36. Where would you like your company to be in five years? Check all that apply.
		Company will have a larger number of employees
		Company will have about the same number of employees as it has currently
		Company will be purchased by another company
		Uncertain
		Other (specify):

G. ABOUT THE OWNER
If your company has more than one owner, answer for the owner with the most responsibility for the direction of the company.
37. Approximately, how many hours each week do you work at this company? Include all hours whether paid or unpaid.
			Number of hours
38. Is this the first company you started?
		Not applicable: I did not start this company				Go to Question 40.
		Yes
		No Continue with Question 39.
39. What is the status of the previous company you started?
								Yes	No
	a. Company is still in business and I still own it
	b. Company is no longer in business
	c. Company was purchased by another company
	d. Company was purchased by another individual
	e. Other (specify):
40. What is the highest level of education you completed?
		Less than high school
		High school graduate
		Some college
		Bachelor’s degree
		Master’s degree
		Professional degree (e.g., JD, LLB, MD, DDS, DVN)
		Research doctorate (e.g., PhD, DSc, EdD)
		Other (specify):
41. What was the major field of study for your highest degree?
		Business management/administration
		Communication
		Computer science
		Education (includes research and administration, and teaching)
		Engineering
		Humanities (includes history, foreign languages and literature, and letters)
		Life sciences (includes agricultural sciences/natural resources, biological/ biomedical sciences and health sciences)
		Mathematics
		Physical sciences (includes astronomy, atmospheric science and meteorology, chemistry, geological and earth sciences, ocean/marine sciences, and physics)
		Psychology
		Social sciences
		Other (specify):
42. Are you Hispanic or Latino?
		Yes
		No
43. What is your race? Please select one or more.
		American Indian or Alaska Native
		Native Hawaiian or other Pacific Islander
		Asian
		Black or African-American
		White
44. Are you male or female?
		Male
		Female
45. Where were you born?
		Inside the U.S.
		Outside the U.S.
46. Are you a U.S. citizen?
		Yes
		No
H. CONTACT INFORMATION
47. Please provide the following information for the person we may contact regarding the answers to this survey.
	Name
	Title
	Telephone						Extension
	Fax						Extension
	E-mail address
48. Enter any comments below.
Thank you for your participation in this survey. Please return your completed questionnaire to:
National Science Foundation c/o Westat, Room TA 2133 1600 Research Blvd. Rockville, MD 20850.

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